Regulation

Argonaut's Australian operating divisions are regulated by the Australian Securities and Investment Commission.

Argonaut Securities is a Trading Participant of the Australian Securities Exchange (ASX) and is bound by the ASX Market Rules.

Argonaut’s Asian operations are regulated by the Securities and Futures Ordinance (“SFO”) administered by the Securities and Futures Commission (“SFC”) of Hong Kong.

Australia:

Division Activity AFSL
Argonaut Capital Corporate Advisory 221476
Argonaut Securities Stockbroking & Research 274099
Argonaut Funds Management Funds Management 224815
Argonaut Equity Partners Principal Investment 221476*

*AEP is a Corporate Representative of Argonaut Capital

Hong Kong:

Division Activity AXO
Argonaut Securities (Asia) Ltd Dealing in Securities 052
  Advising in Securities 052
  Advising in Corporate Finance 052

Argonaut Securities (Asia) Limited is licenced to Deal in Securities, Advise on Securities and Advise on Corporate Finance (regulated activities) in Hong Kong and is bound by the SFC.